| "Develop, implement, and maintain broker -dealer and alternative trading system’s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company’s legal and business teams. *Provide appropriate " |
In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY
To apply go to JDHuntr.com
*Develop, implement, and maintain broker -dealer and alternative trading system’s compliance program, including policies, procedures, systems monitoring, technology and training. *Work closely with company’s legal and business teams. *Provide appropriate support, advice and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, information barriers, licensing requirements, supervision, and other compliance-related issues.
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